Pytanie  |
Odpowiedź |
Conduct of Business Sourcebook Rules dealing with...? COBS rozpocznij naukę
|
|
with the relationship between an authorised firm and its clients
|
|
|
COBS applies to UK firms conducting __? Conduct of Business Sourcebook rozpocznij naukę
|
|
Markets in Financial Instruments Directive.
|
|
|
Following Brexit, the COBS Handbook no longer applies to MiFID business carried on from __? rozpocznij naukę
|
|
an establishment in an EEA member state.
|
|
|
The rules in COBS that are derived from MiFID apply to a Non-UK MiFID investment firm, that is... rozpocznij naukę
|
|
a 'third- country firm' operating a branch.
|
|
|
For which activities do COBS rules apply on a home state basis only? 2 rozpocznij naukę
|
|
Investment research, | and personal account dealing So rules apply to UK firms regardless of where the business is conducted.
|
|
|
Eligible Counterparty (ECP). A client that under the Markets in Financial Instruments Directive II (MiFID II) which is neither a __ nor a __. 2cz rozpocznij naukę
|
|
which is neither a professional client | nor a retail client.
|
|
|
Best Execution. Firms must obtain the best outcomes for a client taking into account not only price factors, but also such issues as costs, speed, __ of execution and settlement. rozpocznij naukę
|
|
likelihood of execution and settlement.
|
|
|
The activities which are subject to COBS: 3 rozpocznij naukę
|
|
Designated investment business, | long-term insurance business, | accepting deposits.
|
|
|
Specific types of activities are exempt from certain COBS rules. rules. E, g, for firms carrying on __? rozpocznij naukę
|
|
on eligible counterparty business.
|
|
|
A range of COBS rules are disapplied, in certain cases, for firms carrying on eligible counterparty business. These include: rozpocznij naukę
|
|
Parts of COBS 11 -best execution, client order handling Parts of COBS 2 | Much of COBS 4 | COBS 6 | COBS 8A | COBS 10 | Parts of COBS 12 | COBS 16.
|
|
|
COBS 6 deal with information on ____? Soome COBS rules are disapplied in certain cases. These include rozpocznij naukę
|
|
|
|
|
Soome COBS rules are disapplied in certain cases. These include rozpocznij naukę
|
|
|
|
|
Soome COBS rules are disapplied in certain cases. These include rozpocznij naukę
|
|
reporting information to clients.
|
|
|
The COBS rules apply to firms in relation to the relevant activities carried out for them by their ____? rozpocznij naukę
|
|
Appointed Representatives Ars
|
|
|
Appointed representatives are exempt, because their principal firms ...? rozpocznij naukę
|
|
... have accepted responsibility for the regulated activities. Principal – an FCA-authorised firm, fully responsible for their regulated activities. | AR – an individual or a firm that carries out regulated activities on behalf of a Principal without having its own FCA authorisation.
|
|
|
Firms must ensure that their appointed representatives comply with the COBS rules when they communicate ____? rozpocznij naukę
|
|
|
|
|
he 2022 changes to the Appointed Representatives regime concerned ____? FCA Rules Regarding ARs rozpocznij naukę
|
|
responsibilities of principals.
|
|
|
Principals will be required to notify the FCA of a new AR appointment __ days before the appointment takes effect. rozpocznij naukę
|
|
|
|
|
Withindays of the rules coming into force, Principals must provide information on ARs to the FCA. rozpocznij naukę
|
|
|
|
|
Responsibilities of Principals. Enhanced oversight of the ARs, including: | adequate systems and controls, | sufficient resources, | and __? rozpocznij naukę
|
|
|
|
|
Annual review on ARs' activities, principals must prepare a __? rozpocznij naukę
|
|
self-assessment document.
|
|
|
